Job Description
- Ensure the firm complies with all relevant statutory laws and regulations, internal policies and procedures.
- Manage the firm's Lexcel Accreditation Audit
- Ensure continual monitoring and review of compliance procedures to help identify possible areas where improvements can be made
- Work with the Compliance Partner to develop internal policies and procedures, compliance training and protocols.
- Keep up-to-date with regulatory developments and industry initiatives
- Develop compliance checklists and compliance reports as and when required.
- Design, develop and manage compliance checklists, reports and monitoring programmes.
- Ensure compliance with best practices and undertake any other duties as required by the Management Team.
- Prepare compliance documents for statutory, legal and regulatory purposes.
- Work with management and staff to identify regulatory risks and design internal controls to ensure compliance within the firm.
- Perform routine risk assessments to help the firm understand compliance risk, scope and significance.
- Educating employees on compliance regulations and the impact of non-compliance on the firm.
- Review marketing materials, websites and presentations (including new employee induction programmes) to ensure compliance with regulations.
- Work with the management from other departments to ensure compliance and investigate irregularities
- Contribute to robust and effective compliance controls within the firm.
Skills
- Critical problem-solving skills and analytical skills
- Attention to detail with the ability to interpret information rapidly.
- Excellent verbal and written communication skills
- Good interpersonal and conflict management skills